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DH

David Huff

PROVIDENCE CAPITAL ADVISORS
Charlotte, NC 28211
Some features on this profile are disabled
CRD#: 5779230
DH

Professional summary

David Huff, who also goes by David James Huff, is a registered financial advisor currently at PROVIDENCE CAPITAL ADVISORS, LLC located in Charlotte, North Carolina.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2012. David has worked at 3 firms and has passed the Series 65, Series 63, Series 66, Series 7TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

David James Huff

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Huff's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

October 17, 2023 - Present

PROVIDENCE CAPITAL ADVISORS, LLC

Office #1: 4500 Cameron Valley Parkway Suite 270, Charlotte, NC 28211
RIA
CRD#: 174631
Charlotte, NC
Past

January 24, 2023 - October 4, 2023

J.P. MORGAN SECURITIES LLC

RIA
CRD#: 79
Charlotte, NC
Past

September 9, 2019 - October 4, 2023

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
Charlotte, NC
Past

May 29, 2012 - February 12, 2013

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA
CRD#: 2881
WESTPORT, CT
Past

May 3, 2012 - February 12, 2013

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
WESTPORT, CT

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
PC
PROVIDENCE CAPITAL ADVISORS, LLC
PROVIDENCE CAPITAL ADVISORS, LLC

CRD#: 174631 / SEC#: 801-107683

RIA
Registered Investment Advisory firm - (4/19/2016 Approved)
Louisiana
Registered Investment Advisory firm - (7/5/2016 Terminated)
North Carolina
Registered Investment Advisory firm - (7/5/2016 Terminated)
Texas
Registered Investment Advisory firm - (6/29/2016 Terminated)
Virginia
Registered Investment Advisory firm - (7/1/2016 Terminated)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR
North Carolina
(10/17/2023)

Exams

State Security Law Exam
IAR
Series 65
Date: 7/31/2023
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/24/2019
Uniform Securities Agent State Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 5/26/2012
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 9/9/2019
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 8/2/2019
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/2/2012
General Securities Representative Examination

Current Firm

PC
PROVIDENCE CAPITAL ADVISORS, LLC
PROVIDENCE CAPITAL ADVISORS, LLC

CRD#: 174631 / SEC#: 801-107683

RIA
Registered Investment Advisory firm - (4/19/2016 Approved)
Louisiana
Registered Investment Advisory firm - (7/5/2016 Terminated)
North Carolina
Registered Investment Advisory firm - (7/5/2016 Terminated)
Texas
Registered Investment Advisory firm - (6/29/2016 Terminated)
Virginia
Registered Investment Advisory firm - (7/1/2016 Terminated)
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Contact information

Main Address
4500 Cameron Valley Parkway Suite 270, Charlotte, NC 28211
Mailing Address
Phone number
(704) 215-4420
Established
Firm type
Fiscal year end
# of Employees
13

SEC notice filing (11 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (12/1/2025)

Regulatory assets under management

Total Number of Accounts2,494
AUM (Assets Under Management)$ 916,266,963

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
02/19/2026
Cover Page
Report
02/10/2025
Cover Page
Report
01/31/2024
Cover Page
Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

PROVIDENCE CAPITAL ADVISORS, LLC

CRD#: 174631Charlotte, NC 28211

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